Articles Tagged with Emerson Equity LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Sherer (Sherer), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sherer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 14, 2025.

Violation of federal securities laws; violations of the California Securities Laws; Unsuitable recommendations, misrepresentations and omissions of material fact; California unfair, unlawful, and fraudulent business practices; common law fraud; breach of contract; breach of fiduciary duty; negligence and gross negligence. 2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Davidson (Davidson), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davidson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $475,000.00 on December 09, 2025.

Information contained herein was obtained by the amended U5 filing by Wealth Forge Securities, LLC\, From Investment activity in November 2022, claimant alleges fraud, misrepresentation, omission of facts, unsuitable recommendations, breach of contract, breach of fiduciary duty, and negligence

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Rogers (Rogers), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rogers recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 24, 2025.

Compensatory damages; breach of written contract; breach of fiduciary duty; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of the Arizona Securities Act and federal securities laws, and Violation of Best Interest Obligations. 2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michelle Osborne (Osborne), currently associated with Emerson Equity LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Osborne recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 24, 2025.

Unsuitability and Regulation Best Interest; Breach of fiduciary duty; Negligence and Gross Negligence; Negligent Misrepresentation; Intentional Misrepresentation/Omission; Breach of Contract

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Sherer (Sherer), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sherer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 03, 2025.

Breach of Contract and warranties, promissory estoppel; consumer protection and deceptive trade practices act; violations of securities statues; negligence and gross negligence; misrepresentation and negligent misrepresentation; breach of fiduciary duty; unjust enrichment; vicarious and joint and severable liability; violation of Regulation Best Interest

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Sherer (Sherer), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sherer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 03, 2025.

Breach of Contract and warranties, promissory estoppel; consumer protection and deceptive trade practices act; Violations of securities statutes; negligence and gross negligence; misrepresentation and negligent misrepresentation; Breach of fiduciary duty; Unjust enrichment; vicarious and joint and severable liability; Violation of Regulation Best Interest.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Zator (Zator), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zator recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 23, 2025.

Breach of contract and warranties, promissory estoppel; violation of Consumer Protection and Deceptive Trade Practices Act; Violation of Securities Statutes; Breach of Fiduciary Duty; Claims under Common Law; Vicarious Liability; Violation of Regulation Best Interest

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Mcpherson (Mcpherson), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mcpherson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 22, 2025.

Breach of fiduciary duty; violation of Regulation Best Interest; negligence; violation of FINRA rules; negligent misrepresentation; common law fraud; violation of the Florida Securities and Investor Protection Act under FLA. Stat. 517.301.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tony Barouti (Barouti), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barouti recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on October 20, 2025.

Breach of contract; rescission; breach of fiduciary duty, of failing to act in claimant’s best interests, to deal fairly and honestly with the claimant, to observe fair business practices and equitable principals of trade as embodied in the standards of the securities industry; FINRA Rules, and respondent’s own internal policies, to make only suitable investments and not to knowingly or negligently make material misrepresentations and omissions to Claimant; negligence and gross negligence; misrepresentations and omissions; violation of FINRA rules; violation of FINRA rules; violation of federal securities laws; violation of California Securities Act; and violation of the Best Interest Obligations (Reg BI)

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Smith (Smith), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 22, 2025.

Wrongful conduct; breach of fiduciary duty; breach of written contract; constructive fraud; fraud by misrepresentation and omission; violation of state and federal securities laws; FINRA rules of fair practice and Kansas Law

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